Gary Kocher

Gary Kocher

K&L Gates LLP

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Bad Actors

On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 506 of Regulation D (“Reg D”) that, among other things, prohibit issuers of securities from relying on Reg D if “bad actors” are...more

1/3/2014 - Bad Actors Blue Sky Laws Disclosure Requirements Disqualification Issuers Private Placements Regulation D SEC Securities

Reasonable Steps to Verify - Third Party Certification Procedure Designed to Comply with New SEC Rules Permitting General...

On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings under Rule 506 of Regulation D...more

10/9/2013 - Accredited Investors Advertising Certifications General Solicitation JOBS Act Private Offerings Regulation D Rule 506 Offerings SEC

Exclusion from Tax for Stock Issued by Qualified Small Business Corporations

On November 3, 2010 and January 18, 2011, we issued client alerts discussing the opportunities provided by the Section 1202 exclusion from tax on gain realized on the sale of certain stock issued by a “qualified small...more

2/4/2013 - American Taxpayer Relief Act Capital Gains Gain Exclusion Qualified Small Business Stock Small Business Startups

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